RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
J••• A•••••• B••••
- W•••• F•••• A••••••• wirehouse currentsince Oct 14, 2021 · Birmingham, Al
- P•• M•••••• A•••••• S••••••••• I••• formerJul 10, 2013 to Aug 17, 2021 · Dothan, Al
- B••• I••••••••• S•••••••• I••• formerJul 15, 2010 to Jun 24, 2013 · Destin, Fl
- W•••• F•••• A••••••• wirehouseJul 8, 2008 to Jul 9, 2010 · Dothan, Al
- P•• M•••••• A•••••• S••••••••• I••• to W•••• F•••• A•••••••left Aug 17, 2021, registered Oct 14, 2021 (58 days) · Affiliated broker-dealer or bank to wirehouse
- B••• I••••••••• S•••••••• I••• to P•• M•••••• A•••••• S••••••••• I•••left Jun 24, 2013, registered Jul 10, 2013 (16 days) · Other
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Jul 9, 2010, registered Jul 15, 2010 (6 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address